) securities companies other than the securities company under (1) and (2) but not including financial institutions established by any other law which have obtained securities business license after acquiring a
license after acquiring a status as financial institution; (6) a person who obtains derivatives business license in the category of derivatives broker limited to gold derivatives; (7) a commercial bank; (8
profit because our revenue is lower than normal and we have special expense, using for acquiring FKR, at 11.3 million baht. However, this special expense shall be in Q1/18 only. Total assets and retained
account to the client every time after the trade date. {B}, however, agreed to make reparations to the client.In performing their duties, investment consultants can send trading orders only when obtaining
Bangkok, February 25, 2015 ? The SEC suspended {A}, a capital market investment consultant of Kasikorn Securities Plc. for obtaining authorization to make derivatives and securities trading decisions
for the client in acquiring KARAT?s shares from its major shareholder and launching a tender offer to delist KARAT from the Stock Exchange of Thailand (SET), before the information was disclosed to the
: Clause 1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting
1 The following Notifications shall be repealed: (1) Notification of the Office of the Securities and Exchange Commission concerning Guidelines for Application for Obtaining an Approval and Granting